A Will Alone is Not Enough
**A will that is not processed by the local county clerk or stamped by probate court alone cannot be used to authorize a stock transfer. We require court-issued documents such as Letters Testamentary or a Small Estate Affidavit, depending on the situation to proceed. While a will may be helpful as supporting documentation, it is not sufficient on its own to complete the transfer.
What You Need Instead
Please seek legal advice to see what documentation you can obtain to show your legal authority over assets held in the name of the deceased. We require one of these court-issued or legal documents:
Will document that is stamped by the local county clerk OR stamped by probate court.
Letters of Testamentary: Court documents appointing you as executor (if there’s a will)
Letters of Administration: Court documents appointing you as administrator (if there’s no will)
Small Estate Affidavit: A simplified process for smaller estates (requirements vary by state)
Why Court Authorization is Required
These requirements exist to:
Ensure the will is valid and properly executed
Confirm you have legal authority to act
Protect against fraud and competing claims
Provide a clear legal chain of authority
Please reach out to your local county clerk or an estate attorney to determine what legal documentation is available to confirm your role as executor of the estate.
Related Articles
Estate and Probate Documentation